South Florida Arbitration & Litigation Lawyer Blog

Transfer Agents Most investors have heard of the phrase “transfer agent” but what is a transfer agent. This post is designed to provide the reader with a general description of what a transfer agent is and the functions that it performs. Please keep in mind that this information is being provided for educational purposes only…

SEC Charges Asset Manager Lied to Investors, Hid Major Losses While Boasting Remarkable Performance During Financial Crisis September, 2012: The Securities and Exchange Commission recently announced an emergency enforcement action against an asset manager who has boasted remarkable investment success throughout the global financial crisis while allegedly exaggerating the value of the assets he manages…

Direct Registration – Securities Ownership: This post is designed to provide the reader with a general description of securities ownership through direct registration. Please keep in mind that this information is being provided for educational purposes only and is not designed to be complete in all material respects. Thus, this post should not be relied…

Street Name Registration – Securities Ownership: This post is designed to provide the reader with a general description of securities ownership through street name registration. Please keep in mind that this information is being provided for educational purposes only and is not designed to be complete in all material respects. Thus, this post should not…

Physical Certificate – Securities Ownership: This post is designed to provide the reader with a general description of securities ownership through the ownership of a physical certificate. Please keep in mind that this information is being provided for educational purposes only and is not designed to be complete in all material respects. Thus, this post…

Securities Registration. What are the alternatives available to investors to register securities ownership. This post is designed to provide the reader with a general description of the ways that an investor can register their securities ownership. Please keep in mind that this information is being provided for educational purposes only and is not designed to…

MSRB’S EMMA WEBSITE SPOTLIGHTS 529 COLLEGE SAVINGS PLAN INFORMATION September, 2012: The Municipal Securities Rulemaking Board (MSRB) recently announced that it is making it easier for families saving for future higher education expenses to find information about 529 college savings plans. The MSRB’s Electronic Municipal Market Access (EMMA®) website provides access to information about 529…

SEC Shuts Down San Diego-Based Real Estate Investment Fraud September, 2012: The Securities and Exchange Commission recently announced an asset freeze against a San Diego-based firm and its owner accused of running a real estate investment fraud that raised approximately $50 million from hundreds of investors nationwide. The SEC alleges that Western Financial Planning Corporation…

SEC Charges Oregon-Based Investment Adviser for Failing to Disclose Revenue Sharing Payments September, 2012: The Securities and Exchange Commission recently instituted a settled administrative proceeding against two Portland, Oregon-based investment advisory firms and their owner regarding the failure to disclose a revenue-sharing agreement and other potential conflicts of interest to clients. The SEC’s investigation found…

Securities and Exchange Commission v. Renee White Fraser, Civil Action No. CV12-7574 PSG (AGRx) September, 2012: SEC Charges Public Relations Executive with Insider Trading in Client’s Stock Recently, the SEC charged the CEO of a Los Angeles-based public relations firm with insider trading on nonpublic information she learned from a client that was about to…